Norse Influences on Tolkien’s Elves and
Dwarves1
Peter Wilkin
Introduction
The ‘mythology’ of J R R Tolkien, best known through his
seminal work The Lord of the Rings [1954-5], has unquestionably
had a more profound influence on the fantasy genre than any
author before or since. To give a brief overview, Tolkien began
what would come to be known loosely as the 'Silmarillion' in 1917
and continued developing his mythology intermittently right up
until his death in 1973. In 1937 he published The Hobbit in which
the hobbit, Bilbo Baggins, undertakes an adventure with a group
of dwarves to recover a hoard of stolen treasure guarded by a
dragon. Several years later at the insistence of his publishers,
Tolkien began work on The Lord of the Rings which, after some
ten years of interrupted writing, was released in three volumes
(The Fellowship of the Ring [1954], The Two Towers [1954] and
The Return of the King 1955]). The Lord of the Rings recounts
Frodo Baggins' perilous journey to destroy the Ring of Power
created by Sauron, the Dark Lord. Throughout this period Tolkien
was also working on his broader mythology, which was published
posthumously as The Silmarillion in 1977. Edited by his son
Christopher Tolkien, and Canadian fantasy writer Guy Gavriel
Kay, The Silmarillion relates the creation of the world, and the
history of the Silmarilli, three jewels composed of the lights of
Valinor that are stolen by Morgoth, the first dark lord.
Subsequent to The Silmarillion, Christopher Tolkien published
Unfinished Tales [1980] and the twelve-volume History of MiddleEarth [1983-1996] which examines the various stages of the
development of Tolkien’s 'mythology.'
1
I would like to acknowledge the invaluable help of Anna Maria Harland in this
study.
… Through a Glass Darkly
The recent but inevitable (one is tempted to say doomed)
production of Peter Jackson’s screen adaptations of the books
have renewed interest in the nature of Tolkien’s influence on
fantasy and popular culture. Amidst the somewhat less than
scholarly film companions that have since manifested on book
store shelves are a number of studies that have focused on the
way in which Tolkien’s mediæval sources have been reflected in
his works and, by extension, diffused into popular culture.
Foremost among these works is Tom Shippey’s The Road to
Middle Earth, 2 which examined Tolkien’s methods of invention
from a philological perspective. As an example of this method,
this study investigates the parallels in the portrayal of elves and
dwarves in Tolkien’s mythology and two of his most important
sources: the Prose and Elder Edda’s. As it is asserted in The
Encyclopedia of Fantasy, Tolkien’s conception of elves and
dwarves 'have come to dominate most genre fantasy'3 and thus
an examination of the sources he drew upon should provide a
more accurate picture of the literary influence that has passed
from the mediaeval sources into contemporary fantasy.
Tolkien and the Sources
Much has been said concerning Tolkien’s manner of ‘invention.' 4
While the business of tracing an author’s creative process is
dangerous at the best of times, it is worth considering one
defining aspect that has made Tolkien distinct from other fantasy
authors: his sense of ‘historical reality.' As a result of a continued
misunderstanding on the part of several readers, he wrote in
1956:
2
Tom Shippey, The Road to Middle Earth, Boston & New York, 2003.
The Encyclopedia of Fantasy, John Clute and John Grant, editors, London,
1999, 316.
4
For Tolkien’s own views on the matter of invention and sub-creation, see J R
R Tolkien, 'On Fairy-Stories,' Tree and Leaf, London, 2001, 3-81. See also
Brian Rosebury, Tolkien: A Cultural Phenomenon, Hampshire & New York,
2003 and Tom Shippey, J R R Tolkien: Author of the Century, London, 2000.
3
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Peter Wilkin
Mine is not an ‘imaginary’ world, but an imaginary historical
5
moment on ‘Middle-earth’ which is our habitation .
The distinction is crucial. Middle-earth is not a fictional world
separate from our own, such as C.S. Lewis’ Narnia. It is rather a
kind of ‘feigned history ,' set in an unknown period of time, but
which nevertheless has some ‘traceable’ connections to
recorded history. 6 A philologist by profession, Tolkien
approached his own mythology from this distinctly historical point
of view. Shippey has best characterised this as the method of
‘asterisk reality:’ a philological term whereby a theoretical form of
a word may be inferred with complete certainty.7 Tolkien applied
this process creatively, not only to his languages but also to the
sources he was influenced by, and it can certainly be seen in the
case of the Eddas. He was acutely aware of the ambiguities and
contradictions in the accounts of elves and dwarves and sought
to explain them in his own mythological terms through this kind of
process.
Before examining Tolkien’s own conception of elves and
dwarves, it is necessary to introduce his two most influential
sources. The Prose Edda was written by the Icelander, Snorri
Sturluson (1179-1241), and contains one of the most
comprehensive accounts of Norse mythology in Icelandic
literature. The Poetic or Elder Edda (a source which Snorri drew
heavily upon) was compiled in the 1270s by an anonymous
writer and contains a large body of mythological information that
is thought to predate the conversion of Iceland in the late tenth
century. Both sources were of central interest to Tolkien since
they represented some of the earliest accounts of elves and
dwarves that were available. In addition, the Eddas predated the
5
J R R Tolkien, The Letters of J R R Tolkien, Humphrey Carpenter, editor,
Boston and New York, 2000, 183.
6
Tolkien estimated the gap between the events in the War of the Ring and our
present time to be about six thousand years. See Letter 211 in Tolkien, op cit,
278.
7
See Tom Shippey, op cit, 19-23.
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… Through a Glass Darkly
emergence of the folktale influences that were to culminate in the
post-sixteenth century equation of elves and dwarves with pixies
and sprites, which Tolkien detested. 8 The Eddas also posed a
difficulty, however, in that they did not provide in any way, a
homogenous view of elves and dwarves. Rather, they were
riddled with ambiguities and contradictions that, for lack of more
evidence, often proved unresolvable. It is the intention of the first
part of this study to examine the main difficulties in the Eddic
accounts of elves and dwarves and to offer some possible
solutions to these problems.
The most significant ambiguity in the sources may best be seen
as a problem of categorisation which hinges on a critical passage
in the 'Gylfaginning' of The Prose Edda. Here a distinction is
made between two apparently different races of ‘elves:'
High said: ‘Many splendid places are there. There is one place
that is called Alfheim. There live the folk called light-elves, but
dark-elves live down in the ground, and they are unlike them in
appearance, and even more unlike them in nature. Light-elves
are fairer than the sun to look at, but dark-elves are blacker
9
than pitch.
In this statement, three distinct differences are emphasised
between ‘light-elves’ and ‘dark-elves.' Firstly, they are situated in
geographical opposites, secondly they differ in appearance, and
thirdly that they differ in nature (though this is not explained). 10
While there are markedly fewer references to ‘light-elves,' these
distinctions are supported by further instances in the texts. The
geographical distinction is emphasised when, in order to find a
fetter that will bind Fenrir, Freyr’s messenger goes 'down into the
8
For instance Tolkien cast many aspersions on Shakespeare’s A Midsummer
Night’s Dream. See Tolkien, The Letters, op cit, 143.
9
Snorri Sturluson, The Prose Edda, translated by Anthony Faulkes, Oxford,
1996, 19-20.
10
See Lotte Motz, 'Of Elves and Dwarfs' in Arv: Journal of Scandinavian
Folklore, 29-30, 1973-1974, New York, 122 (footnote 39).
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Peter Wilkin
world of black-elves.'11 On the other hand light elves are
positioned high up in the heavens, and are associated with the
light of the sun.12 In the passage quoted above they are
described as 'fairer than the sun' while in 'Skirnir’s Journey,' 13
Freyr complains that 'the elf-ray shines day after day, but not on
my longings .'14 Likewise, in 'Vafthrudnirsmal' the sun itself is
described as the ‘elf-disc.' 15 The contrast is also striking in the
rare incidents when appearances are mentioned. The
associations with the sun, as we have seen above, serve also to
denote the light-elves as beautiful. This is clearly indicated in
'Skaldskaparmal' where Snorri states that, 'using the names of
elves is thought complimentary.' 16 A practical example of this is
found in the Saga of King Heidrek the Wise by the use of the
name Alfhildr (elf hair) for a lady 'more beautiful than any other
woman.' 17 Of the dark-elves we know little more than that they
were 'black as pitch' implying, if we follow the general rule of
opposites, that they were very ugly to look upon.
It may be noted that three terms have appeared for 'elves:' lightelves, dark-elves and black-elves. While light-elves are clearly
marked out as a separate entity, is it safe to assume that blackelves and dark-elves may be equated? The confusion is
exacerbated by the fact that dark-elves are mentioned only once
in Snorri’s Edda and nowhere else. This has further led to the
question: if dark-elves and black-elves are the same, why are
dark-elves mentioned at all? Tom Shippey’s rather hesitant
11
Sturluson, op cit, 28, my emphasis.
Lotte Motz, op cit, 96.
13
It is possible that Skirnir himself could be a light-elf. His name means ‘shining
one’ while Freyr himself is strongly associated with Alfheim (‘elf land’). This is
conjecture however.
14
'Skirnir’s Journey' in The Poetic Edda, translated by Carolyne Larrington,
Oxford, 1996, 62.
15
'Vafthrudnir’s Sayings' in The Poetic Edda, ibid, 47.
16
Sturluson, op cit, 94. It is notable that the element – ‘Ælf’ is also used
frequently in Anglo Saxon names such as Ælfred, and Ælfwine.
17
The Saga of King Heidrek the Wise, translated by Christopher Tolkien,
London, 1960, 67.
12
65
… Through a Glass Darkly
solution is to assert that they should be considered different. This
follows the line of argument of the nineteenth century scholar,
Grundvig, who postulated that dark-elves were ‘elves of the
twilight,' a separate class of beings altogether. 18 Unaccountably,
Shippey forces himself into this conclusion by stating that those
who take the simpler two-group solution (light-elves on the one
hand and dark/black-elves on the other) are in effect 'throwing
away their best text.'19 By this he seems to imply that to take the
view that only two groups exist, scholars must necessarily assert
that Snorri himself made a mistake in his own writing. Yet this
seems hardly reasonable. We must keep in mind the general
purpose of the Prose Edda as a manual of poetic diction and, as
such, it may not be surprising that a different name for something
might crop up from time to time. But regardless of this, there is
no other textual evidence that we have to support the dark
elf/black-elf distinction and, indeed, they appear to be so similar
in every instance that to regard them as the same beings makes
far more sense.
We are left then with our earlier division: light-elves on the one
hand and dark/black-elves on the other. Yet this brings us to
another question. The fact that light and dark/black-elves are so
manifestly different yet bear the same name ‘elf’ leaves us
wondering whether they may be thought of as two different
‘tribes ,' distantly related, or whether they are separate entities
altogether. In Myth and Religion of the North, Turville Petre
appears to come down on the side of the former, stating that
'Snorri seems to describe two aspects of the elves; they are dead
and, at the same time the promoters of fertility; they are beautiful
and hideous at once.' 20 His argument rests heavily on the explicit
association with the light-elves and Freyr, a member of the Vanir,
the family of gods associated with both fertility and death. Yet,
given the nature of the portrayal of light-elves and dark/black18
Tom Shippey, 'Light-elves, Dark-elves, and Others: Tolkien’s Elvish Problem,'
in Tolkien Studies, Vol 1 No 1 (2004), 5-7.
19
Shippey, op cit, 4.
20
E O G Turville Petre. Myth and Religion of the North, London, 1964, 231.
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Peter Wilkin
elves marks them as opposites as we have seen above, the
circularity of such an explanation leads us to wonder what he
means by ‘elves’ in the first place. Indeed Turville Petre’s point
suggests rather the alternative possibility. As he points out, lightelves seem to be heavily associated with life and fertility through
their strong association with the sun (as we have seen), and
more importantly through their connexion with Freyr. In
'Grimnismal' it is stated:
Alfheim the gods gave to Freyr
21
In bygone days as tooth-payment.
Given that Freyr, as a chief member of the Vanir, is associated
strongly with fertility, Turville-Petre’s connection is convincing.
Having noted the antithetical relation of dark-elves to light-elves
and the emphasis on their subterranean geographical position,
Turville-Petre seems further justified in identifying the dark/blackelves with the dead. Yet rather than being two aspects of the
same thing 'at once,' this connection with the dark/black-elves
and death instead points to a strong connection with the
dwarves.
Dwarves similarly have very strong associations with death. In a
fascinating study of dwarf names, Gould has demonstrated this
point persuasively by listing a number of dwarf names that
clearly fit this association: 22
…Nar, ‘corpse,’ Nainn, ‘like a corpse,’ Dainn, Dani, ‘like one
dead,’ Buinn, ‘prepared (for burial),’ Eggmoinn, ‘slain by the
21
'Grimnir’s Sayings' op cit, 5.
Though Gould seems to overstep the mark. He states that 'The dwarves are
the dead; they are one phase of the Living Corpse, the draugr, that has
experienced the First Death and will experience the final and Second Death
when the body disintegrates' in C N Gould, 'Dwarf-Names in Old Icelandic'
Publications of the Modern Language Association of America 44, 1929, 959. It
is hard to see how dwarves may only represent the dead when they possess
other characteristics that do not seem to bear any relation to it - such as their
wisdom and their ability as craftsmen.
22
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… Through a Glass Darkly
sword.’…Bumburr, ‘a swollen thing….Duri, Durinn, Durnir, ‘a
sleeper,’ Dvallin, ‘torpid,’ Loinn, Loni, ‘lazy,’ Anarr, Onarr, ‘one
23
who stares at something,’ Uni, ‘one who is calm.’
These names, furthermore, cohere with the propensity of
dwarves to live under the earth or in mounds, as well as their
habit of amassing large amounts of treasure, which are symbolic
of grave goods that were placed with the deceased.
In fact, the dark/black-elves appear to bear such remarkable
similarity to the dwarves in other instances that they might be
thought of as the same beings. Certainly this impression is given
several times in the Prose Edda. For example, in
'Skaldskaparmal,' when Thor finds out that Loki cut off Sif’s hair:
…he caught Loki and was going to break every one of his bones
until he swore that he would get black-elves to make Sif a head of
hair out of gold that would grow like any other hair. After this Loki
24
went to some Dwarves called Invaldi’s sons…
We must assume either that the dwarves lived among other
dark/black-elves or were dark/black-elves themselves. The latter
statement seems to make more sense and avoids unnecessary
complication. Again in 'Skaldskaparmal,' Loki is sent to the ‘world
of the black-elves’ in order to obtain the ransom needed to free
Odin and Hœnir when they are captured by Hreidmar and his
sons Regin and Fafnir. There he finds the dwarf Andvari. 25
Stanza Nine of 'Voluspa' further confirms this association:
Then all the powers went to the thrones of fate,
The sacrosanct gods, and considered this:
Who should form the lord of the dwarves
26
Out of Brimir’s blood and from Blain’s limbs?
23
Ibid, 957-958. It is also significant, as Gould points out, that Odin, the god of
the dead, also shares some dwarf names. See Ibid, 960, note 71.
24
Sturluson, op cit, 96.
25
Ibid, 100.
26
'Seeress’ Prophesy,' op cit, 5.
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Peter Wilkin
‘Blain’ may be rendered as ‘the dark or black one.'27 As such, the
equation of Blain with dark/black-elves is not difficult to make,
and we may thus safely infer the connexion between dark/blackelves and dwarves even from their point of origin. The
geographical similarity between the two is self-evident, since
their relationship with the earth is repeatedly made explicit, as we
have seen already.
Despite the strength of this evidence, there is one difficulty that
becomes immediately apparent if dark/black-elves and dwarves
are to be considered the same. Apart from being ugly, the only
distinguishing physical characteristic of black-elves that is made
explicit in the sources is the fact that they are quite literally ‘pitch
black.' There is nothing to suggest however, that dwarves share
this physical feature. In 'Alvissmal' Thor asks the dwarf Alviss:
What sort of man is that, why so pale about the nostrils,
Did you spend the night with a corpse?
The image of an ogre you seem to be to me,
28
You are not meant for a bride.
Thor’s question concerning the paleness of Alviss may be taken
a number of ways. If the statement was to fit the fact that
dwarves are black, it might be said that Alviss was pale with fear
at the anticipation of Thor’s retribution. But such an interpretation
seems rather stretched given that (highly uncharacteristically)
Thor does not respond to Alviss violently. It is far more probable
that the description of Alviss as pale was used to emphasise the
way in which dwarves stay out of the sun, a pertinent fact to
highlight given the ending of the story.29 Having said this, there
are also no other known accounts of dwarves turning to stone in
the sun. While dwarves are often stated to live under ground, we
may reasonably assume that the more extensive stories
27
'Seeress’ Prophesy,' op cit, 264, note five.
'All-wise’s Sayings,' The Poetic Edda, op cit, 109.
29
By repeatedly asking questions, Thor tricks Alviss into staying out until the
sun rises; whereby he turns to stone.
28
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… Through a Glass Darkly
surrounding dwarves such as Andvari or Regin took place in
daylight. We also have dwarf names such as Blovur ‘the shining
one,' Dagfinnr ‘day-finder' or ‘day-magician,' Fáinn ‘dhining,' Fár
‘dhining,' Glóinn ‘the glowing one,' and Ljómi ‘glow, gleam,
shine.'30 These names, with their obvious association with the
day seem rather incongruous with the Alviss story. As a result we
are left to wonder precisely where 'Alvismal' fits in more generally
with the Norse mythological scheme – a question entirely open to
conjecture. For now at least, we may relegate this anomaly to the
contradictory nature of mythology. As we have seen already, the
evidence overwhelmingly supports the association of black/darkelves with dwarves.
The powerful but highly enigmatic figure of Volund, known for his
notable title as ‘prince of the elves’ bears particular relation to
this question, since he is commonly used as an example of the
only explicitly named ‘elf.' His significance is furthered by his
several but brief appearances in Anglo-Saxon writing, most
notably in Beowulf31 and Deor32, indicating his original
mythological prominence. Yet Volund, despite his obvious
importance, is also extremely difficult to categorise in the lightelf/dwarf dichotomy as set out above, making his title ‘prince of
the elves’ even more puzzling. 33 It seems a worthwhile project to
examine the figure of Volund in more detail, and determine how
30
Gould op cit, 943; 943; 945; 946; 948; 950.
Beowulf, translated by David Wright, Suffolk, 1968, 37.
32
'Deor,' Old and Middle English Poetry, edited by Duncan Wu, Cornwall, 2002,
10-12.
33
Perhaps as a result scholars seem particularly hesitant to place him as either
a dwarf or a light elf. John Lindow, in his Handbook of Norse Mythology, while
never expressly stating it, seems to imply that Volund falls into the latter
category since he mentions Volund under his entry for Elves; John Lindow,
Handbook of Norse Mythology, Oxford, 2001, 110. Lotte Motz, on the other
hand, takes Volund to be a dwarf, though he similarly gives no detailed reason
for doing this. See Motz, Of Elves and Dwarves, op cit, 93. Both opinions are
characteristic of a marked hesitancy among scholars to place Volund in either
camp.
31
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Peter Wilkin
he fits in with the mythical scheme of elves and dwarves as we
have defined it above.
Volund resembles the dwarves in two highly significant respects:
first as a figure of power, and second as a figure of a mastersmith. His powerful nature is alluded to several times in the
poem. It is notable for instance, that Nidud and his men do not
dare to confront Volund openly. Rather, they must journey 'by
night.'34 Despite clearly being well-equipped for battle,35 instead
they must accost Volund while he is asleep and alone. When
Volund is bound and taken to Nidud’s hall, the queen
immediately recognizes the threat he poses:
…his eyes awful, like the adder’s glittering.
Sever ye soon his sinews’ might,
36
Let him sit henceforth in Sævarstath.
Not only does the queen order that he be crippled, he is also
taken to a desolate place, so as not to pose a direct threat to the
king. Finally, when he tells the king that he has butchered his
sons, Nidud states that:
There is no man so tall that he could capture you from a horse,
Nor so powerful that he could shoot you down from below,
37
There where you hover against the cloud!
Dwarves, similarly, are often implied to be extremely powerful. 38
The figure of Alviss in 'Alvissmal' comes to mind, the only
instance when Thor does not seem to be able to use violence.
34
'Lay of Volund,' in The Poetic Edda, op cit, 103.
Ibid, 104.
36
'Lay of Volund,' in The Poetic Edda, translated by Lee M Hollander, Austin,
1962, 163.
37
'Lay of Volund,' in The Poetic Edda, translated by Larrington, op cit, 108.
38
Though there are exceptions. One thinks of the dwarf Andvari who must buy
his life by handing over his treasure to Loki. Also in the Saga of King Heidrek,
the dwarf ransoms himself by making items for his enemy. It is notable in both
these instance however that the dwarves are caught outside their homes. See
Lotte Motz, 'The Craftsman in the Mound,' in Folklore, Vol 88,1977; 46-60.
35
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… Through a Glass Darkly
Regin, another important dwarf,39 described as 'wise, ferocious
and knowledgeable about magic,' 40 is also implied to be very
powerful. His family (quite remarkably) are able to hold three of
the Gods, Odin, Hœnir and Loki for ransom while Sigurd himself
has to kill Regin while he is asleep, fearing that the dwarf will
exact vengeance for the death of his brother when he awakes. 41
The resemblance between Volund and powerful dwarf figures is
thus striking.
The most important similarities between Volund and the dwarves
are the associations with smithying and treasure. 42 It is said that
Volund possessed 'seven hundred in all' rings, a statement which
reminds us strongly of the dwarf Andvari. When Nidud finds
Volund’s dwelling abandoned, they replace all the rings except
one which Volund misses (though he is beguiled into believing
the taker to be his lost wife). A very similar situation occurs twice
in the Sigurd legend. Firstly after being sent out by Odin, Loki
forcefully takes all of Andvari’s treasure, including a ring he tries
to hide. According to 'Skaldskaparmal:'
The dwarf asked him not to take the ring from him, saying he
43
could multiply wealth for himself from the ring if he kept it.
The same incident is repeated when the Æsir stuff the otter skin
with gold, except for one ring which Odin unsuccessfully
attempts to withhold. 44 The repetition of this theme in the story of
39
We know that Regin is a dwarf through a statement in Voluspa. See 'The
Seeress’s Prophesy,' op cit, 5. Also he is described in Reginsmal to be 'a dwarf
in height.' See 'The Lay of Regin,' op cit, 151.
40
'The Lay of Regin,' op cit, 151.
41
'Lay of Fafnir,' in The Poetic Edda, translated by Larrington, op cit, 164.
Incidents of being ‘stabbed in the back’ seem to be perpetuated throughout the
stories of the Volsungs. Hreidmar, Regin, Fafnir and Sigurd are all killed in such
a similar way.
42
Indeed Volund’s fame as a master smith extends to distant heroic lays such
as Beowulf where the hero boasts that Volund is the maker of his corselet. See
Beowulf, op cit, 36
43
Sturluson, op cit, 100.
44
It is possible that this ring is the legendary draupnir, which was taken from
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Peter Wilkin
Volsung suggests some allusion on the part of the poet to the
Niflung treasure, and thus, by association, Volund is connected
with the dwarves through Andvari’s original ownership of the
gold.45
Similar associations exist between the figure of Volund and the
dwarves with regards to swords. It is notable that the queen
explicitly identifies Volund’s vengeful anger because his sword is
taken along with his ring. 46 Strangely, (for the space it takes up in
the poem) his sword plays no real part in the narrative. However,
the fact that it warrants such a mention may indicate its
importance in the corpus of myths that are no longer extant. A
stanza later he states:
There shines at Nidud’s belt a sword,
Which I sharpened most skillfully as I knew how;
And I tempered as seemed to me most fitting;
The shining blade is forever carried far from me,
47
I shall not see that brought to Volund in the smithy.
The emphasis placed on Volund’s effort at sharpening his sword
is significant since the making of sharp swords is a distinguishing
characteristic of dwarven smiths. There are two important
occurences of this in Norse mythology. Most relevant to the case
of Volund is the sword Gram, made for Sigurd by Regin and
renowned for its sharpness. Out of all the sources, The Volsung
Saga goes the greatest length to describe the forging of Gram:
Sigurd hewed at the anvil and split it to its base. The blade did
not shatter or break. He praised the sword highly and went to
Baldr’s funeral pyre How it might have got into Andvari’s hands remains a
mystery.
45
This assumption is strengthened by the direct reference on the part of Volund
to the Niflund treasure. There is some textual ambiguity surrounding this
however.
46
'Lay of Volund,' in The Poetic Edda, translated by Lee M Hollander, op cit,
163.
47
'Lay of Volund,' in The Poetic Edda, translated by Larrington, op cit, 105.
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… Through a Glass Darkly
the river with a tuft of wool, which he threw against the current.
The sword cut the wool in two when the tuft ran against the
48
blade.
The other famous sword that is described as the work of
dwarven smiths is Tyrfing. Again, the sharpness of the sword is
emphasized when Svafrlami attempts to rid himself of the dwarf
which placed a curse on him:
Then Svafrlami struck at the dwarf with the sword, and the
49
ridges of the blade were hidden in the stone…
In both instances sharp swords are distinctly the work of dwarven
smiths. Similarly in the Lay of Volund, a sharp sword is expressly
stated to be made by the master-smith who is enraged at its
theft. It seems reasonable then to assert a strong association
between Volund and dwarven smiths.
If we now return to our original question concerning the use of
Volund’s title as ‘prince of the elves ,' we shall see that the
evidence we have examined strongly suggests that, if Volund is
not actually a dwarf himself, he is far closer to the dwarves than
to ‘light-elves.' To describe Volund as 'the only figure explicitly
assigned to the elves, as scholars have done, 50 is misleading
since to do so implies (against the available evidence) that he is
a light-elf. In fact, dwarf names are very common in the Norse
mythological corpus. In a wider sense Volund is an excellent
demonstration of the ambiguity that surrounds elves and
dwarves, even in spite of their more solid categorisation in the
Eddas, as we saw previously. Having examined the nature of
elves and dwarves in Norse mythology and ambiguities that
surround them, it is worthwhile examining how they are reflected
in Tolkien’s mythology.
48
The Saga of the Volsungs, translated by Jesse L. Bylock, London, 1999, 60.
Saga of King Heidrek the Wise, op cit, 68.
50
Lindow, op cit, 110
49
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Peter Wilkin
Tolkien and the Elves
Tolkien’s thoughts on the light/black-elves/dark-elves51 division in
the Prose Edda are clearly reflected in the account of the elves’
awakening at Cuiviénen and their subsequent march to Valinor.
Chapter Three of the Silmarillion, ‘The Coming of the Elves,’
describes the three tribes of the Eldar52 (a collective term for all
the elves) who undertook the long journey at Oromë’s bidding.
The first and smallest of these tribes are the Vanyar (Fair Elves),
the second are the Noldor (Deep Elves), and the third and
greatest host is the Teleri (Sea Elves). The three hosts together
are termed the Light Elves 53 since they entered Valinor and
beheld the light of the Two Trees. 54 There was however a great
number of elves who either refused to take part in the march,
called the Avari (the Unwilling), or who strayed or were lost along
the way, called the ‘Úmanyar’ (those not of Aman). Both are
called 'the Moriquendi, Elves of the Darkness, for they never
beheld the Light that was before the Sun and Moon.' 55
Since the narrative tends to concentrate on the Noldor (a
subgroup of the Light Elves), little enough is said concerning the
nature of the ‘Dark Elves .' Something is revealed however in
Tolkien’s essay 'Quendi and Eldar,' written around 1959-60, 56
where it is stated that the Moriquendi (Dark Elves):
51
Throughout this discussion, Tolkien’s Light Elves and Dark Elves shall be
capitalised as a means of distinguishing them from their Norse equivalents.
52
Though prior to the Lhammas manuscript, the term Eldar only referred to the
Elves that had seen the light of the Two Trees. This term was to be replaced by
the name ‘Light Elves.' See discussion below.
53
J R R Tolkien, Silmarillion, Ed. Christopher Tolkien, London, 1999, 51.
54
These are the two trees, Laurelin and Telperion, that lit the world before the
creation of the sun and moon. They were created by Yavanna and Niena and
were one of the greatest works of the Valar.
55
Tolkien, Silmarillion, op cit 51.
56
J R R Tolkien, The War of the Jewels, edited by Christopher Tolkien,
London, 2002, 359. See Christopher Tolkien’s commentary.
75
… Through a Glass Darkly
Were regarded as greatly inferior to the Kalaquendi, who had
experienced the Light of Valinor, and had also acquired far
greater knowledge and powers by their associations with the
57
Valar and Maiar.
Thus the vital differentiation between Light Elves and Dark Elves
in Tolkien’s mythology is not that they undertook the journey but
that the former beheld the Light of the Two Trees while the latter
did not. 58 Interestingly this is reflected elsewhere. In The
Fellowship of the Ring, when Frodo, Sam and Pippin come
across Gildor and his company (expressly stated to be High
Elves)59 it is stated that:
They bore no lights, yet as they walked a shimmer, like the light
of the moon above the rim of the hills before it rises, seemed to
60
fall about their feet.
Likewise when the party comes across Glorfindal in The
Fellowship of the Ring:
To Frodo it appeared that a white light was shining through the
61
form and raiment of the rider, as if through a thin veil.
Dark Elves on the other hand are never described in this way.
Legolas, belonging to the Sindar of Mirkwood (Dark elves) is
distinguished as being the son of Thranduil king of the Wood
Elves, but he is never described as having the kind of hidden
power that Glorfindal or Galadriel possess. Indeed, if we
consider the general portrayal of the Wood Elves in The Hobbit,
we find that they are certainly more prone to error than their Light
Elf relatives, 'more dangerous and less wise.'62 Similarly at the
57
Ibid, 373. See Christopher Tolkien’s Commentary.
Elu Thingol for instance did not technically take part in the journey but beheld
the light of the Trees. Despite this he is not counted as a Dark Elf.
59
J R R Tolkien, The Fellowship of the Ring, London, 1993,114.
60
Ibid, 115.
61
Ibid, 279.
62
th
J R R Tolkien, The Hobbit, 4 edition, London, 1993, 162.
58
76
Peter Wilkin
Council of Elrond it is the Wood Elves that let Gollum escape
from captivity. 63
The characteristics that Tolkien attributes to his ‘Light Elves’
certainly recall their Norse equivalents who were heavily
associated with the sky and the light of the sun. The Light Elves
of the Silmarillion, in like manner, are portrayed as being
physically bright – a possible Tolkienian explanation for the
Norse terms such as ‘elf-ray’ and ‘elf-disc’ found in the Elder
Edda. In addition to this they are associated with the Two Trees,
which were to become the sun and moon after Morgoth’s
disastrous incursion into Valinor.
However, Tolkien’s conception of the light/dark/black-elf division
is different from that established in Snorri’s Edda. Rather than
equating dark-elves with black-elves, Tolkien has instead
disregarded the latter term, favouring the less ambiguous name ‘dwarves’ while giving to the term ‘dark-elves’ a new distinction of
its own. With this change comes a necessary shift in polarity.
Whereas with Snorri, light-elves are defined negatively with
black-elves or dwarves, in Tolkien’s mythology the polarity exists
between two sub-groups of elves. It is of great interest however
that despite this change, Tolkien’s ‘Dark Elves’ took on certain
features of the dark/black-elf/dwarves even though they are of a
fundamentally different race. With one exception, 64 Tolkien’s
conception of Dark Elves remained stable, but this was not so
with the Light Elves.
In the ‘earliest Silmarillion’ manuscript, written in 192665 the three
hosts of elves undertaking the journey are divided differently:
…one under Ingwë (Ing) after called the Quendi (or Elves proper,
or Light-elves), one under Finwë (Finn) after called the Noldoli
63
Tolkien, Lord of the Rings, op cit, 335.
The story of Eöl ‘The Dark Elf.' See Tolkien, The Silmarillion, op cit, 151-162.
65
J R R Tolkien, The Shaping of Middle Earth, Christopher Tolkien, editor, Vol
4, London, 1993, 11. See Christopher Tolkien’s commentary.
64
77
… Through a Glass Darkly
66
(Gnomes or Deep-elves), one under Elwë (Elu) after called the
67
Teleri…
These resemble quite closely the three tribes of elves that are
present in the published Silmarillion. It is distinctive that in this
case Light Elves are not a collective term for all the elves that
came to Valinor, but rather a particular group of these led by
Ingwë. Slightly more detail about this division is given in the
typescript of the ‘Quenta’ of 193068 where it is stated that:
…the Light-elves [are] beloved of Manwë, who ever knew
69
something of the mind of the Lord of the Gods.'
It is notable that the distinguishing characteristic of Tolkien’s
‘Light Elves’ in this version is their close relationship with the
Valar, not the fact that they had beheld the light of the two trees,
since both the Noldori and the Teleri would also have
experienced the Light of the Trees. This difference reflects an
interesting shift in Tolkien’s emphasis on the Norse sources.
Whereas in the later conception, the elves resemble the Norse
association with light and the sun, this earlier conception
stresses instead a geographical characteristic of the Light Elves.
Earlier we saw that the light-elves inhabit the heavens. What is of
further note is the geographical proximity of the light-elves with
the gods themselves. 70 Elves are commonly mentioned in
conjunction with gods, as in the repeated statement in 'Voluspa:'
‘What ails the Æsir and what the alfs?’71 This formula is
frequently used in other poems such as 'Skirnir’s Journey' 72 or in
66
For discussion on the term ‘Gnomes’ for the Noldor see Shippey, The Road
to Middle Earth, op cit, 293.
67
Tolkien, The Shaping of Middle Earth, op cit, 13
68
Ibid, 76. See Christopher Tolkien’s commentary.
69
Ibid, 151.
70
See also Lotte Motz 'Of Elves and Dwarfs,' op cit, 95.
71
'Voluspa,' The Poetic Edda, translated by Lee M Hollander, op cit, 10.
72
'Skirnir’s Journey,' in The Poetic Edda, translated by Larrington, op cit, 62,
stanzas 7 and 17.
78
Peter Wilkin
'Thrym’s Poem.' 73 In 'Grimnismal' it is stated that: “The land is
sacred which I see lying / Near the Æsir and elves.”74
Assuming the formula has meaning above its function as an
alliterative device, such a statement would indicate the closeness
of the light-elves’ habitation with that of the Gods. Tolkien’s Light
Elves fit this characteristic exactly. On the other hand,
dark/black-elves are implied to live far off from the gods’
dwelling. Odin must send a messenger (Skirnir) to the world of
the black-elves 75 to get the fetter Gleipnir made, from which we
may infer that the journey was a long one. This is made more
likely by the fact that Skirnir also undertakes an arduous journey,
this time on Freyr’s behalf to win the hand of Gerdr.76 This
geographical characteristic of the black/dark-elves/dwarves
certainly fits with Tolkien’s dwarves, who universally dwell far
away from the gods in Middle-earth77 and who live underground
in caves. However Tolkien’s Dark Elves also exhibit this similar
characteristic, demonstrating the occasional crossover between
dark-elves and dwarves that Tolkien drew from the Norse
sources. Thingol78 for instance, ruler of the only formidable
kingdom in Beleriand comprised of Dark Elves dwelt in
Menegroth, an elaborate system of underground caves, which he
had enlisted the help of dwarves to build. In The Hobbit, Bilbo
and the dwarves are captured by Wood Elves (also Dark Elves)
where they are imprisoned in a large underground fortress. 79
While this element was to remain in the later mythology, Tolkien
changed his emphasis on the Eddic portrayal of light-elves. In
73
'Thrym’s Poem,' in The Poetic Edda, ibid, 98, stanza 7.
'Grimnir’s Sayings,' in The Poetic Edda, ibid, 52.
75
Ibid.
76
'Skirnir’s Journey,' in The Poetic Edda, ibid, 61-68
77
With the exception of Gimli, who departs with Legolas to Valinor after the
overthrow of Sauron. It may be noted that ‘Gimle’ is the Norse name for the
heaven that will exist after Ragnarök. It is possible that Tolkien intended this
association to be carried with Gimli the dwarf.
78
Though Thingol is not technically a Dark Elf himself.
79
Tolkien, The Hobbit, op cit, 167.
74
79
… Through a Glass Darkly
the sketch of the Lhammas 80 the new distinction was made that
is present in the published Silmarillion. Here, the Light Elves now
appear as a collective term for all the elves that went to Valinor
and saw the light of the two Trees. 81 The change seems to be a
logical one, given that the distinction between Dark Elves and
Light Elves makes more sense. The geographical proximity to
the gods was to remain in the collective term for Light Elves, but
with far less emphasis than it was given before. In a broader
sense these changes in conception are indicative of the close
relationship Tolkien had with the Prose and Poetic Eddas. While
Tolkien changed his mind about Light Elves in his own
mythology, his insistence on drawing from the Norse portrayal of
light-elves remained highly consistent.
Significant difficulties and ambiguities surrounding the light/blackelf/dwarf dichotomy exist in the Prose and Elder Eddas.
However, the balance of evidence suggests that it is possible to
identify a basic distinction between light-elves on the one hand
and black/dark-elves/dwarves on the other. These ambiguities
are, unsurprisingly, reflected in Tolkien’s own work and are
particularly evident in his division of Light Elves and Dark Elves
as seen in The Silmarillion and his previous drafts. Based on
these divisions, it is apparent that Tolkien drew heavily upon the
Norse sources. This is attested to in the close parallels between
Tolkien's Light Elves and Dark Elves and references to these
beings found in the Norse mythological corpus. In a broader
sense, these parallels attest to the profound influence that the
Eddas had on Tolkien’s work, testimony to the ever present and
vibrant link that exists between the fantasy genre and the
mythologies of the past.
80
J R R Tolkien, The Lost Road, Christopher Tolkien, editor, Vol 5, London
1993, 166-7. See Christopher Tolkien’s commentary.
81
Ibid, 198.
80